EXHIBIT 10.1 LETTER AGREEMENTFinancial Advisory Agreement • April 8th, 2011 • Red Mountain Resources, Inc. • Services-prepackaged software • Texas
EXHIBIT 10.4 Source Capital Group, Inc. Members NASD, SIPC Investment Bankers / Brokers tcoffin@sourcegrp.com W. Todd Coffin Mr. Wilf Shorrocks - CEO Bagshaw Hall, Bagshaw Hill, Bakewell, Derbyshire DE45 1DL UK. March 23, 2004 Dear Mr. Shorrocks: The...Financial Advisory Agreement • April 27th, 2004 • Peak Entertainment Holdings Inc • Telephone communications (no radiotelephone)
May 18, 2011 PacWest Bancorp San Diego, CA 92101 Attention: Victor R. Santoro Dear Vic:Financial Advisory Agreement • May 24th, 2011 • Pacwest Bancorp • National commercial banks • Creek
This letter agreement (the “Agreement”) will confirm that, subject to the terms and conditions contained herein, PacWest Bancorp (the “Company”) has engaged Castle Creek Financial LLC (“Castle Creek”) as the exclusive financial advisor to the Company in connection with the Company’s efforts to (a) acquire or invest in other financial institutions, excepting therefrom the opening of individual bank branches in the ordinary course of business or acquisition of deposit bases, loan pools or failed institutions from the FDIC; (b) effect a sale of the Company or a material amount of its assets; or (c) pursue a financing or recapitalization transaction (collectively, the “Transaction”). As the exclusive financial advisor to the Company, Castle Creek will, in addition to providing services in connection with a proposed Transaction provide other services pursuant to paragraph 9. This Agreement amends and restates the letter agreement between the Company and Castle Creek dated as of April 30, 20
EXHIBIT 10.4 September 10, 2001 Douglas R. Miller President & Chief Operating Officer Global Sports & Entertainment, Inc. 5092 South Jones Boulevard Las Vegas, NV 89118 Dear Mr. Miller: This letter agreement (the "Letter Agreement") confirms our...Financial Advisory Agreement • November 19th, 2001 • Global Sports & Entertainment Inc/ • Medicinal chemicals & botanical products • California
MEMBER NASDFinancial Advisory Agreement • April 28th, 2005 • Ovation Products Corp • Refrigeration & service industry machinery • Massachusetts
CONFIDENTIAL August 1, 2024Financial Advisory Agreement • August 1st, 2024 • ZyVersa Therapeutics, Inc. • Pharmaceutical preparations • New York
The purpose of this financial advisory agreement (this “Agreement”) is to confirm the engagement of A.G.P./Alliance Global Partners (“A.G.P.”) by ZyVersa Therapeutics, Inc. (the “Company”) to render Financial Services (as defined below) to the Company.
EARLYBIRDCAPITAL, INC. New York, New York 10016Financial Advisory Agreement • December 23rd, 2013 • Cambridge Capital Acquisition Corp • Blank checks • New York
This is to confirm our agreement whereby Cambridge Capital Acquisition Corporation, a Delaware corporation (“Company”), has requested EarlyBirdCapital, Inc. (the “Financial Advisor”) to assist it in connection with the Company seeking to enter into a merger, share exchange, asset acquisition, stock purchase, recapitalization, reorganization or other similar business combination (in each case, a “Business Combination”) as described in the Company’s Registration Statement on Form S-1 (File No. 333-191868) filed with the Securities and Exchange Commission (“Registration Statement”) in connection with its initial public offering (“IPO”) with one or more businesses or entities (each a “Target”):
EXHIBIT 10.6.2 [LETTERHEAD OF LAIDLAW & COMPANY] February 9, 2005 Caprius, Inc. 1 Parker Plaza Fort Lee, NJ 07024 Attention: George Aaron, Chief Executive Office RE: FINANCIAL ADVISORY AGREEMENT Dear George: This letter is written to amend the...Financial Advisory Agreement • February 18th, 2005 • Caprius Inc • Misc industrial & commercial machinery & equipment
This letter is written to amend the Financial Advisory Agreement entered into on January 11, 2005. With regard to paragraph 1, The Offering, the amount of capital to be raised shall be increased to a maximum of $4.5 million. With regard to paragraph 2 and 2(b), Fees and Expenses, the cash fee will be reduced to 8% of the gross proceeds received and the amount of warrants payable will increase to l.5 million warrants at an exercise price of $0.28. With regard to paragraph 2 (a) legal fees will be capped at $15,000. With regard to paragraph 3 (c) Laidlaw waives its right to name two members to the Board of Directors.
October 2, 2018 Eureka Homestead Metairie, LA 70005Financial Advisory Agreement • March 11th, 2019 • Eureka Homestead Bancorp, Inc. • Georgia
The purpose of this letter agreement (the “Agreement”) is to confirm the engagement of FIG Partners, LLC (“FIG”) to act as the exclusive financial advisor to Eureka Homestead (“Eureka” or the “Bank”) in connection with the proposed mutual-to-stock conversion of the Bank (the “Conversion”) and the concurrent sale of common stock of a stock holding company (“NewCo” and together with Eureka, the “Company”) to be formed by Eureka. FIG understands that NewCo will offer and sell shares of its common stock first to eligible persons pursuant to a Plan of Conversion (the “Plan”) in a Subscription Offering (the “Subscription Offering”) and any remaining shares to the general public in a Direct Community Offering and/or Syndicated Community Offering (the “Community Offering” and, together with the Subscription Offering, the “Offering”). This letter sets forth the terms and conditions agreed to between the Company and FIG with respect to the Conversion, the Plan and the Offering.
RECITALSFinancial Advisory Agreement • October 30th, 2002 • Chapeau Inc • Retail-apparel & accessory stores • Colorado
September 11, 2014 Ben Franklin Financial, Inc. Arlington Heights, IL 60004 Attention: C. Steven Sjogren Chairman & Chief Executive Officer Ladies and Gentlemen:Financial Advisory Agreement • September 12th, 2014 • Ben Franklin Financial, Inc. • New York
The purpose of this letter agreement (the “Agreement”) is to confirm the engagement of Sterne, Agee & Leach, Inc. (“Sterne Agee”) to act as the exclusive financial advisor to Ben Franklin Financial (“MHC”), Ben Franklin Financial, Inc. (“BFFI”) and Ben Franklin Bank of Illinois (the “Bank”) in connection with the MHC’s reorganization from a mutual holding company form of organization to a stock holding company form of organization (the “Reorganization”). In order to effect the Reorganization, it is contemplated that all of BFFI’s common stock to be outstanding after giving effect to the Reorganization will be issued to a newly formed stock holding company (“NewCo” and, together with MHC, BFFI and the Bank, the “Company”) to be formed by BFFI, and that NewCo will offer and sell shares of its common stock first to eligible persons pursuant to a Plan of Conversion and Reorganization (the “Plan”) in a Subscription Offering (the “Subscription Offering”) and any remaining shares to the gener
Attention: Matt Gantz, CEO Pat Morris, General Counsel, Paragon BiosciencesFinancial Advisory Agreement • July 16th, 2021 • Castle Creek Biosciences, Inc. • Pharmaceutical preparations
This letter (the “Agreement”) will confirm our understanding that Paragon Health Capital, LLC (“PHC”) has been hired to serve as the financial advisor to Castle Creek Biosciences, Inc. and/or its affiliates, subsidiaries or related companies that exist today or which may be created by you (“CCB” or the “Company”). This Agreement supersedes all prior agreements with CCB including the letter dated November 2, 2020.
August 17, 1999 PRIVATE AND CONFIDENTIAL PlayCore, Inc. 15 West Milwaukee Street, Suite 204 Janesville, WI 53545 Attention: Mr. Terence S. Malone Chairman of the Board Dear Mr. Malone: This letter agreement (the "Agreement") confirms our understanding...Financial Advisory Agreement • April 21st, 2000 • Playcore Inc • Sporting & athletic goods, nec • Wisconsin
FIRST AMENDMENT TO FINANCIAL ADVISORY AGREEMENTFinancial Advisory Agreement • August 14th, 2001 • LLS Corp • Plastics products, nec • Texas
June 23, 2004 PERSONAL AND CONFIDENTIAL --------------------------- Capital Resource Funding, Inc. 17115 Kenton Drive Suite 202-A Cornelius, North Carolina 28031 Attn: David R. Koran President Dear David: This letter agreement ("Agreement") confirms...Financial Advisory Agreement • August 16th, 2004 • Capital Resource Funding Inc • Florida
FINANCIAL ADVISORY AGREEMENT January 3, 2011Financial Advisory Agreement • January 5th, 2011 • ZBB Energy Corp • Electric services • Texas
VIA ELECTRONIC DELIVERY Mr. Yandai Wang CEO SOS Limited Room 8888, Jiudingfeng Building, 888 Changbaishan Road, Qingdao Area, China (Shandong) Pilot Free Trade Zone Dear Mr. Wang:Financial Advisory Agreement • March 3rd, 2021 • SOS LTD • Finance services • New York
We are pleased that SOS Limited (collectively, with its subsidiaries the “Company”) has decided to retain Maxim Group LLC (the “Financial Advisor”) to provide general financial advisory and investment banking services to the Company as set forth herein. This letter agreement (“Agreement”) will confirm the Financial Advisor’s acceptance of such retention and set forth below are the terms of our engagement.
EXHIBIT 10.21 November 17, 1999 Private & Confidential ---------------------- Mr. Ezra Cohen President and C.E.O. Ezcony Interamerica Inc. Units Four and Five 7620 NW 25th Street Miami, Florida 33122 Ladies/Gentlemen: We are writing this letter to...Financial Advisory Agreement • April 28th, 2000 • Ezcony Interamerica Inc • Wholesale-electrical appliances, tv & radio sets • New York
Attn: William J. Gedwed ChairmanFinancial Advisory Agreement • April 2nd, 2007 • HealthMarkets, Inc. • Accident & health insurance • New York
This letter confirms the understanding and agreement (“Agreement”) between The Blackstone Group L.P. (“Blackstone”) and The MEGA Life and Health Insurance Company (the “Company”) regarding the retention of Blackstone and its affiliates, successors and assigns, as appropriate, by the Company as its exclusive financial advisor for the purposes set forth herein.
ContractFinancial Advisory Agreement • May 5th, 2020 • Delaware
EX-10.4 11 y92110exv10w4.htm EX-10.4 Exhibit 10.4 EXECUTION VERSION FINANCIAL ADVISORY AGREEMENT This Financial Advisory Agreement (this “Agreement”) is made as of July 20, 2011, by and among Sterling Holdco Inc., a Delaware corporation (the “Company”), SRA International, Inc., a Delaware corporation (“SRA”), and Providence Equity Partners L.L.C., a Delaware limited liability company (“Providence”). RECITALS: WHEREAS, Providence, by and through its officers, employees, agents, representatives and affiliates, have expertise in the areas of corporate management, finance, product strategy, investment, acquisitions and other matters relating to the business of the Company and its subsidiaries; and WHEREAS, the Company desires that it and its subsidiaries (together, the “Company Group”) avail themselves of the expertise of Providence in the aforesaid areas, in which it acknowledges the expertise of Providence; NOW, THEREFORE, in consideration of the foregoing recitals and the covenants and
June 10, 2005Financial Advisory Agreement • October 3rd, 2005 • Branded Media CORP • Real estate dealers (for their own account) • New York
CONFIDENTIAL Soligenix, Inc. Princeton, NJ 08540 Attention: Dr. Christopher J. Schaber Ph.D., CEO Re: Soligenix, Inc.– Financial Advisory Agreement Dear Dr. Schaber,Financial Advisory Agreement • July 9th, 2024 • Soligenix, Inc. • Pharmaceutical preparations • New York
The purpose of this letter (this “Agreement”) is to confirm the engagement of A.G.P./Alliance Global Partners (“A.G.P.”) by Soligenix, Inc., a Delaware corporation (the “Company”), to render Financial Services (as defined below) to the Company.
Exhibit 10.16 Financial Advisory Agreement Dated May 7, 1999 Between BioLynx.Com, Inc. and R. F. Bearden Associates, Inc.Financial Advisory Agreement • December 8th, 1999 • Biolynx Com Inc • Texas
Source Capital Group, Inc. January 21, 2004 Mr. Stephen Carnes President & CEO Fortis Enterprises Lake Mary, FL Dear Mr. Carnes:Financial Advisory Agreement • September 2nd, 2005 • Renovo Holdings • Retail-nonstore retailers • New York
The purpose of this letter is to confirm the understanding and agreement (the "Agreement") between Source Capital Group, Inc, ("SCG") and Fortis Enterprises, a Nevada corporation (the "Company"), regarding the retention of SCG by the Company as its exclusive (for three weeks) financial advisor for the purposes set forth herein.
Exhibit 10.30 December 12, 2001 FINANCIAL ADVISORY AGREEMENT Mr. Bruce Parsons EBIZ ENTERPRISES, INC. Jones Business Systems, Inc. 13715 Murphy Rd., Suite D Stafford, Texas 77477 Dear Mr. Parsons: This Financial Advisory Agreement (the "Agreement")...Financial Advisory Agreement • February 14th, 2002 • Ebiz Enterprises Inc • Services-business services, nec • Arizona
Davenport Public Finance 101 N. Tryon StreetFinancial Advisory Agreement • January 31st, 2022
On behalf of my colleagues at Davenport & Company LLC (“Davenport”), we are pleased to provide this Letter Agreement to Jackson County (the “County”) to provide financial advisory services. In accordance with Rule G- 23 of the Municipal Securities Rulemaking Board, Davenport is required to have a written agreement with the County disclosing the financial advisory services it will provide and the basis of its compensation.
ContractFinancial Advisory Agreement • April 10th, 2024
Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this announcement.
FINANCIAL ADVISORY AGREEMENTFinancial Advisory Agreement • April 15th, 2021 • Florida
This Financial Advisory Agreement (“Agreement”) is entered into as of the date set forth below, by and between Moll Wealth Management, Inc. (“Advisor”), and
BURNHAM HILL PARTNERS A DIVISION OF PALI CAPITAL INC.Financial Advisory Agreement • April 29th, 2008 • RedRoller Holdings, Inc. • Services-business services, nec • New York
This letter Agreement (the “Agreement”) confirms the engagement of Burnham Hill Partners (“BHP”), a division of Pali Capital, Inc., by RedRoller Holdings, Inc. (the “Company”) to act (i) as its exclusive financial advisor in connection with a strategic transaction, which may include a merger or acquisition, partnership or strategic alliance in which funds are invested or similar type transaction (a "Strategic Transaction") and (ii) as exclusive placement agent in connection with any equity or debt financing through a transaction or transactions exempt from registration under the Securities Act of 1933, as amended and in compliance with the applicable securities laws and regulations or a registered direct offering pursuant to an effective registration statement filed with the Securities Exchange Commission. (a “Financing”).
CONFIDENTIALFinancial Advisory Agreement • March 13th, 2015 • Harmony Merger Corp. • Blank checks
This letter agreement (the “Agreement”) will confirm our understanding of the terms and conditions under which Canaccord Genuity Inc. (“Canaccord Genuity”) will provide Harmony Merger Corp. (together with its subsidiaries and affiliates, the “Company”) with certain financial advisory services in connection with a preliminary review of potential merger and acquisition opportunities, or other services as reasonably requested by the Company and mutually agreeable by Canaccord Genuity. In consideration of such services for a period of up to 18 months starting the date of its initial public offering (the “IPO”), the Company desires to pay Canaccord Genuity a fee for such services of $135,000, which amount shall be payable in cash on the closing date of its IPO.
EXHIBIT 10.16 FORM 10-Q QUARTER ENDED JUNE 30, 1997Financial Advisory Agreement • August 14th, 1997 • Bucyrus International Inc • Mining machinery & equip (no oil & gas field mach & equip)
June 20, 2005Financial Advisory Agreement • February 15th, 2007 • Broadcaster Inc • Services-prepackaged software • New York
August 5, 2011 PERSONAL AND CONFIDENTIAL Mr. Joseph M. Solomon President and Chief Executive Officer Fairmount Bancorp, Inc. Fairmount Bank Baltimore, Maryland 21237 Dear Mr. Solomon:Financial Advisory Agreement • August 12th, 2011 • Fairmount Bancorp, Inc. • Savings institution, federally chartered
This letter agreement (this “Agreement”) hereby amends and restates the letter agreement dated May 20, 2011 by and between Fairmount Bancorp, Inc. (the “Company”) and Stifel, Nicolaus & Company, Inc. (“Stifel Nicolaus”) and is to confirm our understanding of the basis upon which Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) is being engaged by Fairmount Bancorp, Inc. and Fairmount Bank (on a joint and several basis and collectively with their respective present and future subsidiaries and affiliates and any entities they may form or invest in, the “Company”).
Keating Securities, LLC Greenwood Village, Colorado 80111-2739Financial Advisory Agreement • August 24th, 2006 • Cyber Merchants Exchange Inc • Services-business services, nec • Colorado
This letter will confirm our agreement (“Agreement”) that Keating Securities, LLC (“Keating”) is authorized to represent Cyber Merchants Exchange, Inc. and its current and future subsidiaries (collectively, the "Company”) and to assist the Company as its financial advisor on the terms and conditions set forth herein. This Agreement shall become effective upon the execution hereof by both Keating and the Company.
White River Energy Corp, Fayetteville, AR 72701 Attn.: Mr. Jay Puchir Chief Executive OfficerFinancial Advisory Agreement • February 17th, 2023 • White River Energy Corp. • Transportation services
This letter agreement (this “Agreement”), when executed by the parties hereto, will memorialize our understanding and constitute an agreement between White River Energy Corp, a Nevada corporation (collectively with its subsidiaries, the “Company”) and Centrecourt Asset Management LLC, a New York limited liability company (“Centrecourt Asset Management”), pursuant to which the Company agrees to retain Centrecourt Asset Management and Centrecourt Asset Management agrees to be retained by the Company under the terms and conditions set forth below:
